Compliance Resources Library

Senior Managers & Certification Regime

Our Senior Managers & Certification Regime (SM&CR) resources are specifically designed to support your firm's continued compliance with the Regime. We offer:

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Conduct Rules Training £15-30 per delegate

Guide for Solo Regulated Firms £75

Fit & Proper Assessment Template £75

Statement of Responsibilities Template £25

Template Certificate for the Certification Regime FREE

Conduct Rules Training

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These Conduct Rules Training courses meet the FCA's annual training requirement in respect of the Conduct Rules. We offer two different courses:

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For team members under the Certification Regime as well as all other team members who need to abide by the Conduct Rules £15 per delegate

For Senior Managers under the Certification Regime £30 per delegate

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Should you wish to purchase the training for larger teams rather than on a per delegate basis, please contact robert.bell@rbcompliance.co.uk. We also have a demo version of the training available upon request.

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Guide for Solo Regulated Firms

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This 85-page guide is intended for solo-regulated firms – those regulated by the FCA only - on the transition to the SM&CR. It sets out the background & steps - in plain, easy to understand English - required to ensure compliance with the new Regime.

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£75.00

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Fit & Proper Assessment Template

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This Fit & Proper Assessment Template provides a framework for firms that are subject to the FCA’s SM&CR to use to collate information they need to assess an individual’s fitness and propriety.

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£75.00

Statement of Responsibilities Template

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A Statement of Responsibilities is required under the Senior Managers Regime for anyone performing a designated Senior Management function. This template can be used to ensure FCA compliance to the Regime.

​£25.00

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Template Certificate for the Certification Regime

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These Certification Templates are worded to ensure compliance to the Certification Regime under SM&CR. Firms will be required to check & confirm (‘certify’) that certified staff are suitable to do their job & provide certification.

GDPR Compliance Bundle

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This bundle includes all of the documents / resources listed above in order to assist your compliance with the GDPR and Data Protection Act 2018. Includes: DPIA Template; Data Protection, Retention and Breach Policies; Supplier Contract and GDPR Compliance Training. This bundle represents a 25% saving!

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£300.00

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Data Protection Policy Template

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This outline Data Protection Policy document is designed to meet the requirements of the General Data Protection Regulation, which requires firms ‘...be able to demonstrate that processing is performed in accordance with this Regulation’.

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£50.00

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Data Retention Policy Template

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This document provides firms with an outline Data Retention Policy, designed to meet the requirements of the General Data Protection Regulation, that can be adjusted and amended to best fit the needs and operation of the firm.

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£25.00

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Data Breach Policy Template

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The rules around reporting data breaches have become specific under the General Data Protection Regulation. This document provides firms with an outline Data Breach Policy, designed to meet these requirements.

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£25.00

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Supplier Contract Template

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This document provides firms with an outline Supplier Contract, designed to meet the requirements of the General Data Protection Regulation, to use as the basis of a contract between the business and any processor it engages.

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£50.00

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DPIA Template

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This DPIA Template contains two documents: 1) for phase 1 which is to be undertaken whenever new types of data are processed and is designed to identify whether 2) phase 2, the full DPIA, is required.

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£75.00

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GDPR Compliance Training

It is impossible to comply with GDPR without training your team. Our resource is a starting point to help ensure you have covered all required areas. Included in this training resource pack are the training slides, activities and tutor notes that provide a detailed framework for a GDPR training session.

Consumer Credit Sourcebook - A Guide

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This 86-page guide sets out the key provisions of CONC in plain, easy to understand English, taking the complexity and confusion out of understanding the sourcebook, and potentially saving countless hours of work.

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£99.00

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Consumer Credit Sourcebook Training Materials

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CONC is complex & lengthy, but firms must ensure that their customer-facing staff & management are fully trained on its provisions to ensure compliance with regulatory expectation. This comprehensive training package can be amended to suit the needs of the firm, and of the learners.

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£99.00

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Dispute Resolution: Complaints (DISP) - A Guide

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This 47-page guide is intended as a summary guide for firms that need to abide by the obligations in DISP. It explains, in plain English, the main rules that firms need to abide by to ensure compliance.

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This 34-page guide is intended as a high-level summary guide for firms that need to abide by the obligations in SYSC. It explains, in plain English, the main rules that firms need to abide by to ensure compliance.

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£75.00

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The FCA's Expectations on Vulnerable Customers -

A Guide

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This 30-page guide is a summary for all firms in their treatment of vulnerable & potentially vulnerable consumers. It explains, in plain English, the FCA's main rules & guidance that need to be abided by to ensure compliance.

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£75.00

The FCA's Expectations on Vulnerable Customers Training Materials

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This pack of slides & training materials forms a comprehensive basis for a robust training session aimed at ensuring customer-facing staff understand what vulnerability is, how it can be identified & how to deal fairly with vulnerable customers.